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Archive 2020

Exams are coming!

Listen up class here are the subjects that will come up in your mocks’ is how the latest Dear CEO letter to IFA firms should be read. No precise detail but enough to get ready.   As background the FCA is seeing an increasing number of cases where the actions of firms are resulting in

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“Research” -v- “due diligence” – What’s the difference?

We often hear about the need to undertake research and due diligence on the products and services recommended to clients, but what does that mean in practice? Specifically, is undertaking research the same as due diligence, or are the two different? And this is an important question, because there is confusion in the market about

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